Surveys Studies &Research

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Scheme of Surveys, Studies and Policy Research

Objectives

The objectives of the Scheme of Surveys, Studies and Policy Research are:

(i) To regularly/periodically collect, from primary, secondary and other sources,relevant and reliable data on various aspects and features of micro, small and mediumenterprises (MSME) engaged in manufacturing and services (whether in the category of

tiny/small scale industries, khadi, village industries or coir) as a composite group orspecific segments thereof.

(ii) To study and analyse, on the basis of empirical data or otherwise, the constraintsand challenges faced by the MSME as well as the opportunities available to them, in the

context of liberalisation and globalisation of the economy.

(iii) To use the results of these surveys and analytical studies for policy research and

designing appropriate strategies and measures of intervention by the Government, byitself or in public private partnership mode, to assist and enable these enterprises infacing the challenges and availing of the opportunities with a view to enhancing their

efficiency and competitiveness and also expanding generation of sustainable employment

by them.

2. Scope

The scope of the Scheme includes (but is not limited to) the following areas of interest:

(i) Sector-wide issues like criteria for classification of enterprises, international

standards and norms for such classification, reservation/dereservation of products forexclusive manufacture by any segment of MSME and statutory and other forms of

regulation of enterprises consistent with the objectives of (a) quick entry and smooth exit,

(b) operational ease and reduction of transaction costs of compliance, (c) simplification

and harmonisation of regulatory processes and procedures, etc.

(ii) Concurrent/periodical evaluation/assessment of impact of the existing policies,

programmes and schemes of assistance on the target segments of MSME with referenceto the objectives of such policies, etc., and designing remedial measures for improvement

of impact.

(iii) Issues like credit flow, sickness, technological upgradation, infrastructure support,marketing (including exports), enterprise management practices, intellectual property

rights, etc., in the context of specific segments or whole of MSME and with a view toenhancing competitiveness in the global context.

(iv) Measures for capacity building of enterprises/associations of enterprises and their

empowerment, with particular emphasis on micro enterprises and enterprisesowned/operated by women and/or the scheduled castes/tribes and promotion and

development of enterprises in less developed regions/Sates of the country.

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(v) A Scrutiny Committee, headed by the Coordinating Joint Secretary and consistingof Director/Deputy Secretary level officers concerned of the two Ministries and similar

representatives of the Integrated Finance Wing and the Organisation concerned with the

proposal will scrutinise each proposal with reference to the TOR and financialparameters/norms and make recommendations on acceptance to the Steering Committee.

If necessary, suitable clarifications for this purpose will be sought by the Scrutiny

Committee from the invited institution.

(vi) The Steering Committee, shall keep in mind the capability, technical expertise

available with the Institutes and the financial bid offered by the Institutions while taking adecision in the matter. There shall be no restrictions on award of more than one study to

a particular Institution. The decision of the Steering Committee shall be final.

4. Terms of Payment

The terms of payment for each assignment under this Scheme will be as under:

(i) First installment: 40 per cent of the fees on signing of the agreement.

(ii) Second installment: 35 per cent, subject to (a) submission of the draft report (5

copies of the draft report including executive summary) within the time frame stipulated

in the agreement and (b) a presentation on the draft report being made before the Steering

Committee at New Delhi and the draft report being found to be generally acceptable.

(iii) Third and final installment: balance 25 per cent on submission of the final report

and its acceptance by the Government. Any delay in submission of report without dueapproval by the Ministry will attract a penalty of 5% per week and the balance 25% will

be forfeited on delay in submission of the report beyond 5 weeks from the stipulated date.

The final payment will be made within 6 weeks on acceptance of the report andsubmission of bills etc. by the agency.

5. Other General Terms and Conditions

The other general terms and conditions applicable to each assignment under this Scheme

will be:

(i) The assignment should be completed within the time stipulated in the agreement.

Delay in submission of the report beyond the stipulated time will attract penalty as

provided for in the agreement. For factors beyond the control of the institution given the

assignment, suitable extension in time may, however, be granted at the request of theinstitution.

(ii) The Government shall not pay any extra amount for any escalation in the cost of

the assignment beyond the time period stipulated in the agreement.

(iii) The total fee for the study as agreed with the organisation will include service taxand other tax, if any, and the liability of payment of the tax will be of the Institution

conducting the study.

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(iv) 10 hard copies of the final report, 15 hard copies of the executive summary and 50

CDs containing the final report shall be submitted before releasing the final installment of

payment.

(v) During the currency of the assignment, Government may modify the TOR and

other terms and conditions of the assignment, if necessary, in order to strengthen/deepenits scope/coverage. As far as possible, such modifications will not be made more thanonce during currency of study and with the due concurrence of the institution concerned.

In case, there is cost escalation due to substantial and major changes in the Terms ofReference, such cost escalation shall be restricted to a maximum of 25% over and above

the original cost subject to the approval of Integrated Finance Wing.

(vi) The draft/final reports and the contents thereof would be the intellectual property

of the Government and would not be published by the institution concerned without prior

approval of the Government.

(vii) In case of change of consultant/team leader during the currency of study, the newconsultant/team leader may be appointed by the Institution with the prior approval of theMinistry.

(viii) The Consultant will notify the Government of any material change in their status,

shareholding or that of any Guarantor of the Consultant, where such change wouldimpact on performance of obligations of the Consultant under the Agreement.

(ix) If the performance of the Institution during the currency of the study is not foundto be satisfactory, the agreement can be terminated and the amount already paid to the

Institution will be recovered.

(x) The raw data/processed data/ findings should not be disclosed by the Institution to

any third party without prior approval of the Government.

6. Forms of TOR, RFP and Agreement

Copies of the standard forms of LOI, TOR and Agreement are enclosed at Annexure-I,

Annexure-II and Annexure-III respectively.

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ANNEXURE I

Ministry of Small Scale Industries,

Government of India,

Udyog Bhawan,

New Delhi 110011.

No.

DatedTo

[Insert: Name and Address of Institution/ Consultant]

Subject: Letter of Invitation for Assignment under Scheme of Survey, Studies and Policy

Research

Sir/ Madam,

We invite proposal for the Assignment titled .. More

details of the Assignment are provided in the Terms of Reference (TOR).

2. This letter of Invitation has been addressed to the following short listed institutions/

Consultants:

[insert: List of Short listed Consultants]

It is not permissible to transfer this invitation to any other Institution.

3. With this Letter of Invitation, the following documents are enclosed:

(i) Terms of Reference (TOR) of the Assignment.

(ii) Standard form of Certificates to be included in the proposal (Annexure-A,

Annexure-B and Annexure-C).

(iii) Standard Form of Agreement.(iv) Copy of the Scheme of Surveys, Studies and Policy Research.

4. We will be happy to receive your proposal for undertaking this Assignment. The

evaluation of the proposal (s) received will be done by the Scrutiny Committee referred to in

paragraph 3(v) of the Scheme document and, on approval, the decision will be communicated to

you.

5. Your proposal may be sent in sealed cover so as to reach the undersigned

by.(date).

Thanking you and looking forward to hearing from you,

Yours faithfully,

( )

[Designation: ]

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ANNEXURE II

Terms of Reference

1. Background

2. Objectives of the Assignment

3. Scope of the Assignment

4. Reports and Time Schedule

5. Data and Facilities, if any, to be provided by Government

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Annexure A

CONSULTANTS ORGANISATION AND EXPERIENCE

A Consultants Organisation

[Provide here a brief (note more than two pages) description of the background andorganisation of your entity and each associate, if any, for this assignment.]

B Consultants Experience

[Using the format below, provide information on each assignment for which your entity,

and each associate for this assignment, was contracted for carrying out consultingservices similar to the ones requested under this assignment.]

Assignment name : Approx. value of the contract (in Rupees) :

Country :Location within country :

Duration of assignment (months) :

Name of client :

Address :

Start date (month/year) :Completion date (month/year) :

Name of associated Consultants, if any: Name of senior professional staff of your firm

involved and functions performed (indicatemost significant profiles such as ProjectDirector/Coordinator, Team Leader):

Narrative description of Project:

Description of actual services provided by your staff within the assignment:

Firms

Name:__________________________________________________________________

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Annexure B

I General Description of Team

Sr.

No.

Name of Team Leader &

Staff

Position Input

(Staff-months)

1.

2.

3.

4.

5.

6.

7.

8.

Note: CV of the Team Members to be provided in the format given at Annexure B-I.

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Annexure B-I

CURRICULUM VITAE (CV) OF PROPOSED

PROFESSIONAL STAFF FOR THE ASSIGNMENT

1. Proposed Position [only one candidate shall be nominated for each position]:-_____________________________________

2. Name of Entity [Insert name of entity proposing the staff]:__________________

_________________________________________________________________

3. Name of Staff[Insert full name]:__________________________________________

4. Date of Birth:______________________Nationality:______________________

5. Education:[Indicate college/ university and other specialized education of staff

member, giving names of institutions, degrees obtained, and dates of obtainment]:

__________________________________________________________________

__________________________________________________________________

6. Membership of Professional Associations:______________________________

_________________________________________________________________

7. Publications (Indicate books, research papers and other articles published in

reputed journals).

8. Other Training(s) : [Indicate significant training since degrees under 5

Education were obtained]:

_________________________________________________________________

9. Countries of Work Experience : [List countries where staff has worked in the

last ten years]:

__________________________________________________________________

10. Employment Record:[Starting with present position, list in reverse order every

employment held by staff member since graduation, giving for each employment(see format here below): dates of employment, name of employing organization,

positions held]:

From [Year]:________To [Year]:________

Employer:___________________________

Positions held:_______________________

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11. Detailed Tasks Assigned

[List all tasks to be performed under this assignment]

12. Work Undertaken that Best Illustrates Capability to Handle the TasksAssigned

[Among the assignments in which the staff has been involved, indicate the

following information for those assignments that best illustrate staff capability tohandle the tasks listed under point 10].

Name of assignment or project___________

Year_______________________________

Location____________________________

Client______________________________

Main project features:_________________

Positions held:_______________________

Activities performed:__________________

13. Certification:

I, the undersigned, certify that to the best of my knowledge and belief, this CV

correctly describes myself, my qualifications, and my experience. I understand

that any willful misstatement described herein may lead to my disqualification or

dismissal, if engaged.

___________________________________________Date:_________________

[Signature of staff member or authorized representative of the staff]Day/Month/Year

Full name of authorized representative:_________________________________

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Annexure C

CONSULTANTS FINANCIAL PROPOSAL

(a) Cost of the Study/Survey/Research Paper : Rs(based on team and staff inputs and allnecessary activities as per ToR)

(b) Service Tax : Rs.

(c) Total Cost (a+b) : Rs.

Note :

Note : No separate payment towards overheads, equipment, accommodation,

procurement of primary and /or secondary date, necessary travel (if any),etc. shall be allowed.

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ANNEXURE III

AGREEMENT FOR CONSULTINGSERVICES

FOR SURVEYS, STUDIES AND RESEARCH PROJECTS

AGREEMENT

THIS AGREEMENT is entered into this [insert starting date of assignment] between the

President of India acting through Secretary, Ministry of Small Scale Industries, Government

of India, [the Government] having its principal place of business at [insert Clients address],and [insert Consultants name] (the Consultant) having its principal office located at [insert

Consultants address] acting through ______.

WHEREAS, the Government wishes to have the Consultant perform the Assignment

hereinafter referred to, and

AND WHEREAS, the Consultant is willing to perform this Assignment,

NOW, THEREFORE, THE PARTIES hereby agree as follows:

1. Services (i) The Consultant shall perform the assignment specified in

Annex A, Terms of Reference and Scope of Assignment,

which is an integral part of this Agreement (the Assignment).

(ii) The Consultant shall provide the personnel listed in Annex B,Consultants Personnel, to perform the Assignment.

(iii) The Consultant shall submit to the Government the reports inthe form and numbers and within the time periods specified in

Annex C, Consultants Reporting Obligations.

2. Term The Consultant shall perform the Assignment [within ____ months

from the date of this Agreement], or any other period as may be

subsequently agreed by the parties in writing, subject to liquidated

damages for the delay attributable to the Consultant.

3. Payment A. Ceiling

For the Assignment, the Government shall pay the Consultant

the sum of [insert amount]. This amount includes all of theConsultant's costs and deliverables as well as any tax obligation

that may be imposed on the Consultant.

B Schedule of Payments

The schedule of payments is specified below:

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[insert currency and amount] upon the Governments receipt of

a copy of this Agreement signed by the Consultant;

[insert currency and amount] upon the Governments receipt ofthe draft report from Consultant, acceptable to the Government;

and[insert currency and amount] upon the Governments receipt ofthe final report from Consultant and acceptable to the

Government.

[insert currency and amount] Total

C. Payment Conditions

(i) Payment on signature of this Agreement shall be madeagainst a bank guarantee of equivalent amount from a

Scheduled Bank in favour of the Government _____ till receipt

of the draft report from Consultant and acceptable to theGovernment.

(ii) Final payment shall be made not later than 6 weeks,

following submission by the Consultant of complete invoices induplicate to the Coordinator designated in paragraph 4 or

acceptance of the Report by the Government whichever is later.

4. ProjectAdminist-

ration

A. Coordinator

The Government designates Shri/ Smt. [insert name and

designation] as the Governments Coordinator; for thisAssignment. The Coordinator will be responsible for the

coordination of activities under this Agreement, for acceptance

and approval of the reports and of other deliverables by theGovernment and for receiving and approving invoices for the

payment.

B. Reports

The reports listed under Para 4 and 5 of the guidelines of the

Scheme shall be submitted in the course of the Assignment,

and will constitute the basis for the payments to be made underparagraph 3.

5. Perfor-

mance

Standards

The Consultant undertakes to perform the Assignment with the

highest standards of professional and ethical competence andintegrity. The Consultant shall promptly but not later than ___ days

replace any employees assigned under this Contract that the

Government considers unsatisfactory.

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6. Confiden-

tiality

The Consultant shall not disclose any proprietary or confidentialinformation relating to the Services, this Agreement or the

Government's business or operations without the prior written

consent of the Government.

7. Ownershipof

Material

Any studies, reports or other material, graphic, software or otherwise,prepared by the Consultant for the Government under the Agreementshall belong to and remain the property of the Government. The

Consultant may retain a copy of such documents and software for the

purpose of this Agreement.

8. Insurance The Consultant will be responsible for taking out any appropriate

insurance coverage at its own cost.

9. Re-Assign-ment

The Consultant shall not re-assign this Agreement or sub-contract any

portion of it without the Government's prior written consent.

10 Dispute

Resolution

Any dispute arising out of the Agreement, which cannot be amicably

settled between the parties, shall be referred for arbitration [in

accordance with the provisions ofAct] to an arbitrator

nominated by the Secretary, Department of Legal Affairs, Ministry ofLaw and Justice, Government of India. Provisions of the Arbitration

and Conciliation Act, 1996, as amended from time to time, shall be

applicable. Courts in Delhi shall have jurisdiction in the matter.

11 Events of

Default

(i) Delay in furnishing of any report within the period mentioned forin Annex C. Provided that there shall not be default for the period of

Force Majure and delays solely attributable to the Government.

(ii) Any report being non-acceptable to the Government for lack of

professional quality.

(iii) Breach of any of the terms of this Agreement.

12 Consequen

ces of

Default

(i) On the occurrence of any of the event of default on the part ofConsultant, the Government may terminate this Agreement and claim

refund of any money paid or invoke the bank guarantee and refuse to

make any more payment.

(ii) In case of default being limited to delay only not exceeding 5

weeks, the Government, may in the alternative, claim the agreedliquidated damages @ 5% of the amount of contract for every week

of delay, not exceeding in any case 25% of the amount of contract.

The amount of liquidated damages shall be withheld and/or recoveredfrom the payment to be made to the Consultant.

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13 Force

Majure

The Parties shall be entitled to excuse performance of their respectiveobligations to the extent they are unable to perform the contract by an

event of Force Majure. A party claiming relief on this account shall

immediately on becoming aware of Force Majure event give notice tothe other party disclosing the manner in and the period during which

performance of its obligation is likely to be affected.

For the purpose of the Agreement Force Majure means Acts of God,

wars or similar action affecting India Civil Commotions or general

strike (excluding by its own employees) lying beyond the reasonable

control of the affected Pary.

14 Notice The address of the Parties for all communication is :

Government :

Consultant :

All notices with the aforesaid address sent by pre-paid registered-post

or speed post or sent by fax with confirmation of its delivery or e-mail shall be deemed to have been served and received by the

addressee within the time they should have been delivered/received at

the addressees end.

Any change of address will not be valid unless acknowledged by theother party.

IN WITNESS WHEREOF, the representatives of the Parties to this Agreement being dulyauthorized have hereunto set their hands and have executed those present this __ day of ____

For and on behalf of the Presidentof India (THE GOVERNMENT) FOR THE CONSULTANT

Signed by ___________________ Signed by ____________________

Designation: ______________________ Designation:___________________

In presence of _____________________ In presence of ___________________

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Surveys Studies &Research